October 2017-Apple Valley, MN The FINRA records of Joseph H. Sterling , a stockbroker who has been registered with Geneos Wealth Management since 2005 disclose 2 pending customer disputes. The Financial Industry Regulatory…
read moreApril 2018–VSR Financial Services closed down its operations in the Fall of 2016. Many of its brokers and clients have been transferred to Summit Brokerage Services, a related entity which is…
read moreBrokerage firms nationwide sold a number real estate investment trusts (REITs) sponsored by Cole Capital, including: Cole Office and Industrial Cole Advisor Corporate Income Cole Advisor Retail Income REIT Cole…
read moreIf you have suffered losses on your investment in Cole Office & Industrial REIT, contact us to learn how you may be able to recover damages from the brokerage firm…
read moreThe Woodlands, Texas We are investigating the sales practices of Frank Timothy Dunn, Jr. a broker who has been employed by Concorde Investment Services since 10/2014. In publicly available records…
read moreJune 2017 – Houston, TX According to publicly available records James A. Franklin (CRD#4799613) , a stockbroker who currently is employed by 1st Global Capital Corp. , discloses a pending customer dispute. The Financial…
read moreMay 2017-Las Cruces, NM The FINRA records of Jeffrey R. Wilson , a stockbroker who is currently registered with Wells Fargo Clearing Services disclose a recent arbitration award to a customer and 2 other prior…
read moreMay 2017- Plano, Texas The FINRA records of Kyle J. Gardner, a stockbroker who is currently employed by SCF Securities disclose a pending customer dispute for losses on investments in real estate investment trusts (REITs). The…
read moreApril 2017- Simi Valley, CA The FINRA records of Steven H. Murphy, a stockbroker who is currently employed by Summit Brokerage Services and was previously employed by VSR Financial Services, disclose a pending customer dispute and…
read more